Career
Mark Steffe has been President and CEO of First Command Advisory Services since January 2020. Mark Steffe is a control person of the firm and directly owns under 5% of it.
First Command Advisory Services is a Fort Worth, TX firm with $24.4B under management, 113,591 clients and 1,155 advisers across 187 offices, as of its July 2026 filing.
Mark Steffe joined First Command in 2010 and serves as president and CEO of First Command Financial Services. He became president in 2017 and CEO in early 2020. He holds a BS in Finance with high honors from the University of Illinois.
- – present · 10 years, · Adviser representative · Firm CRD 281958
- First Command Financial Planning, Inc.– · 5 yearsFort Worth, TX · Adviser representative · Firm CRD 3641
- Tiaa-cref Advice And Planning Services– · 1 yearPrinceton, NJ · Adviser representative · Firm CRD 20472
- UBS Financial Services Inc.– · 4 yearsChicago, IL · Adviser representative · Firm CRD 8174
- UBS Financial Services Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 8174
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Texas | Approved | 15 December 2015 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 23 | General Securities Principal Sales Supervisor | 25 March 2009 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 3 June 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 July 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 February 1994 |
| Series 7 | General Securities Representative Examination | 11 August 1993 |
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Sales Supervisor
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Mark Duane Steffe
- CRD
- 2204689
- Firm bio
- firstcommand.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Mark Steffe work?
Mark Steffe has been President and CEO of First Command Advisory Services since January 2020, and is a control person of the firm.
Is Mark Steffe a financial advisor?
Yes. Mark Steffe has a current investment-adviser registration in Texas, through First Command Advisory Services since December 2015.
How many years of experience does Mark Steffe have?
Mark Steffe has 32 years in the financial industry, since August 1994, across 4 adviser firms.
What exams has Mark Steffe passed?
Mark Steffe has passed 9 licensing exams: the Series 7, Series 63, Series 65, Series 8, Series 23, Series 24, Series 9, Series 10 and Series 99TO. The earliest, the Series 7, was passed in August 1993. FINRA credited Mark Steffe with the SIE, which began in October 2018.
Where did Mark Steffe work before First Command Advisory Services?
Before First Command Advisory Services, Mark Steffe was registered through First Command Financial Planning, Inc., May 2010 to December 2015; Tiaa-cref Advice And Planning Services, March 2009 to March 2010; UBS Financial Services Inc., March 2004 to October 2008; UBS Financial Services Inc., June 2002 to February 2004.
Leadership at First Command Advisory Services
- Tina CaddellVice President, Operations
- Heidi CerboneVice President and Treasurer
- Eric ChartanSenior Vice President, Chief Legal Officer
- Casey GriffinSenior Vice President, Chief Compliance Officer
- Kelleen RichterExecutive Vice President, Chief Operating Officer
- Frank SmithSenior Vice President - Chief Information Security Officer & Chief Technology Officer